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REPORTS

Reports by NASAA’s Broker-Dealer Section on areas of interest to broker-dealers.

LICENSING EXAM INFORMATION

Learn about the licensing exams that normally are a prerequisite for being licensed by a state before a broker-dealer can work with investors. 

SENIOR MATTERS

Learn more about how you can use NASAA resources to help protect seniors and vulnerable adults from financial exploitation.

RESOURCES

Check this section for useful information and material for broker-dealers.

COMPLIANCE
FINDINGS

Examiners from NASAA members conduct coordinated biennial exams of broker-dealers for compliance issues and prepare suggested best practices.